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James M Phillips

Wells Fargo Clearing Services, LLC

Miamisburg, OH

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-25
OH RA APPROVED 2000-07-21
  • TX RA
    APPROVED_RES
    Since 2017-10-25
  • OH RA
    APPROVED
    Since 2000-07-21

Branch Locations

10100 Innovation Dr Ste 100, Miamisburg, OH 45342 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Dayton OH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Dayton OH 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-08
S63 Uniform Securities Agent State Law Examination 1997-09-24
  • S65 Uniform Investment Adviser Law Examination
    1997-10-08
  • S63 Uniform Securities Agent State Law Examination
    1997-09-24
Other Names
  • Jamie Phillips
  • James Michael Phillips

View on SEC IAPD

Other Firms

SUMMIT FINANCIAL, LLC
EAGLE STRATEGIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
EVERHART ADVISORS
W&S BROKERAGE SERVICES, INC.
FIFTH THIRD SECURITIES, INC.
EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

JOSEPH SAMUEL ZAIDAIN
LAKSHYA ARORA
JOSEPH CARL FISHER
JONATHAN PAUL HLAVAC
LISA A BLOCK
DUANE JERROD GILLMAN
JAMES ROBERT ST.PIERRE
Wesley Gooding

Other Offices

SUMMIT FINANCIAL, LLC · MIAMISBURG, OH
EAGLE STRATEGIES LLC · MIAMISBURG, OH
STATE FARM INVESTMENT MANAGEMENT CORP. · West Carrollton, OH
EVERHART ADVISORS · Miamisburg, OH
W&S BROKERAGE SERVICES, INC. · Miamisburg, OH
FIFTH THIRD SECURITIES, INC. · MIAMISBURG, OH
EDWARD JONES · WEST CARROLLTON, OH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · Dayton, OH

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